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Self-regulatory organizations
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#	Item
841	#..SEC-9 System name: Correspondence Files Pertaining to Registered Broker-Dealers--SEC. System location: Securities and Exchange Commission, Washington, DC[removed]Records also are maintained in the SEC Regional and Dist Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 13:08:31 Financial system 73rd United States Congress United States Securities and Exchange Commission Self-regulatory organizations Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Municipal Securities Rulemaking Board United States securities law Financial economics Finance
842	JEFFREY S. DAVIS VICE PRESIDENT & DEPUTY GENERAL COUNSEL 805 KING FARM BLVD ROCKVILLE, MD[removed]P: +[removed]F: +[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-12 11:02:09 Self-regulatory organizations Stock market Philadelphia Stock Exchange NASDAQ Chicago Board Options Exchange Futures exchange Futures contract Stock exchange Securities Exchange Act Financial economics Economy of the United States Investment
843	Q12-0696 US Consolidated Tape Data - April.indd Add to Reading List Source URL: www.utpplan.com Language: English - Date: 2012-04-24 10:02:22 Investment Self-regulatory organizations Computer networking Consolidated Tape Association Direct Edge NASDAQ NYSE Arca National market system plan New York Stock Exchange Financial markets Financial economics Economy of the United States
844	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]February 2, 2015 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-03 10:45:16 73rd United States Congress United States Securities and Exchange Commission United States securities law IShares Securities Exchange Act New York Stock Exchange NYSE Arca Investment Financial economics Exchange-traded funds
845	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. AN-OCC[removed]December 14, 2012 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing to Rev Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-16 17:51:32 United States federal banking legislation Options Clearing Corporation Securities Dodd–Frank Wall Street Reform and Consumer Protection Act Bank Futures contract Clearing Federal Reserve System Financial economics Financial system Finance
846	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]December 31, 2014 Joint Industry Plan; Notice of Filing of Amendment No. 34 to the Joint Self-Regulatory Organization Plan Governing the Collec Add to Reading List Source URL: www.utpplan.com Language: English - Date: 2015-02-04 15:32:00 Financial economics United States Securities Exchange Act NASDAQ Financial Industry Regulatory Authority Chicago Stock Exchange U.S. Securities and Exchange Commission OMX International Securities Exchange Self-regulatory organizations United States securities law Economy of the United States
847	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BOX[removed]February 5, 2015 Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change Adopt BOX Rule 7300 to All Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-06 12:03:51 Financial system Order Market maker Securities Exchange Act Best execution Broker-dealer NASDAQ Payment for order flow National best bid and offer Financial markets Financial economics Investment
848	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]January 10, 2013 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Ame Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-11 12:39:46 Financial system Bank Event of default Short Commodity Futures Trading Commission Federal Reserve System Financial economics Finance Options Clearing Corporation
849	JOINT SELF-REGULATORY ORGANIZATION PLAN GOVERNING THE COLLECTION, CONSOLIDATION AND DISSEMINATION OF QUOTATION AND TRANSACTION INFORMATION FOR NASDAQ-LISTED SECURITIES TRADED ON EXCHANGES ON AN UNLISTED TRADING PRIVILEGE Add to Reading List Source URL: www.utpplan.com Language: English - Date: 2011-08-09 14:10:33 Investment Finance Stock market Financial markets United States Securities and Exchange Commission Securities Exchange Act Consolidated Tape Association Chicago Stock Exchange Financial Industry Regulatory Authority Self-regulatory organizations Financial economics United States securities law
850	National Associatio on of Munic cipal Advis sors P.O. Box 304 Montgomerry, Illinois 60 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-28 16:20:37 Nama G with stroke Self-regulatory organizations Municipal Securities Rulemaking Board CIPAL

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